UBS Financial Services Americas FC Head of Regulatory, Exam Management & Risk Assessment in Nashville, New Jersey

Your role:

Do you want to work protecting one of the largest financial institutions against money laundering and terrorist financing risks? Are you someone who likes to do the right thing? Do you know how to maintain independence and objectivity? Are you someone with the ability to manage regulatory responses, exams and keep adequate tracking of complex regulatory issues and remediation plans? We are looking for someone like that who can:

  • supports the Financial Crime Compliance Head in responding to regulatory and law enforcement related requests

  • manage special projects such as the implementation of new regulatory requirements, as well as remediation plans derived from regulatory exams and internal audit reviews

  • manage the Financial Crime Compliance Americas regulatory inventory, establishing an adequate channel of communication with US and international regulators

  • work on global and regional policy and procedure initiatives, providing support with the interpretation of new regulatory requirements and identifying the implications to a large financial institution

  • provide guidance to senior staff within Financial Crime in the completion of the analysis of new laws, rules and regulations, as well as during the completion of risk assessments

  • provide support to the Financial Crime investigations team reviewing the content of subpoena responses and ad-hoc law enforcement requests of information, ensuring consistency and clarity on such responses

What we offer:

Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).

Take the next step:

Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.

Disclaimer / Policy Statements:

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

Your team:

We are currently seeking a Regulatory & Exam Management Head who will be working within the C&ORC Financial Crime team. Our role is to assist UBS in the fight against money laundering, fraud, corruption and terrorist financing.

Your experience and skills:

You have:

-a 4 year college degree or international equivalent

-10+ years of AML related experience with a wealth management, broker dealer, retail and/or private bank, and/or correspondent bank or 10+ years of compliance or AML related experience at a law firm, regulatory agency, financial institution, major consulting firm or agency in law enforcement, government policy or banking examinations.

  • AML or regulatory experience in the securities industry is preferred

-experience handling sensitive information with a high degree of discretion with a focus on the maintenance of client privacy

-Certified Anti-Money Laundering Specialist (ACAMS) / Certified Fraud Examiner (CFE) / Certified AML and Fraud Professional (CAFP) is a plus

You are:

-analytical, with the ability to provide practical solutions and prioritize a diverse workload with multiple deadlines

-results-oriented and assertive (you don’t shy away from challenging situations)

-highly flexible and detail-oriented with the ability to multi-task and change directions based on business demands

About us:

Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?

Your colleagues:

Job Reference #: 171273BR

Business Divisions: Corporate Center

Title: Americas FC Head of Regulatory, Exam Management & Risk Assessment

City: Nashville, New York, Weehawken

Job Type: Full Time

Country / State: United States - New Jersey, United States - New York, United States - Tennessee

Function Category: Compliance, Risk